IB Execution Services

Job Reference #
324528BR

Job Type
Full Time, Part Time

Your role
Are you a sharp evaluator of risk, who enjoys investigating complex business processes and products? Do you want to play a key role in improving the effectiveness of business-critical processes to help safeguard and strengthen UBS?

We're looking for a Risk Expert (Associate Director / Director) to:

• Plan, execute and lead audits, issue assurance and risk assessment and/or internal quality assurance reviews, working effectively in order to provide the expected level of assurance in line with the time/budget allocated
• highlight where controls are functioning well or where UBS needs to act to better manage current and emerging risks, and escalate any significant concerns appropriately
• meet our internal standards for the quality, execution and documentation of work, taking account of legal entity coverage expectations, where required
• where relevant, develop issues and audit reports according to our internal reporting and issue disposition standards that are fully supported by the work done and require minimal feedback from reviewers.
• successfully collaborate with peers in and across audit teams
• build and maintain constructive relationships with colleagues and relevant stakeholders at all levels including senior management

Your team
You'll be working in the Investment Bank Audit team in Frankfurt, with the core responsibility to conduct and lead audit work around IB activities in UBS Europe SE. It requires working closely with the global GIA team responsible for auditing the Investment Bank's Execution Services and Research activities. The team covers controls of high-volume trading businesses (including electronic & algorithmic trading) in products such as Equities, ETD and Foreign Exchange. Further to the scheduled audits, the team is also responsible to (i) maintain relationships with UBS Europe SE IB management and control functions, (ii) continuously assesses the risk profile of the UBS Europe SE IB businesses, and (iii) address inquiries from German and EU regulators.

Your expertise

• five or more years of experience in a similar position focused on auditing within the finance sector on Director (or comparable) level.
• able to quickly understand complex investment banking processes and challenge the status quo, identifying risks and inadequacies in processes
• ability to effectively communicate with senior stakeholders and regulators
• familiarity with Investment Banking products and processes
• strong analytical skills and quantitative approach to problem solving
• willingness to keep up with industry, regulatory developments and learn new concepts and methods
• Masters degree or equivalent focusing on Banking, Finance, Business Administration or Auditing
• fluent in English, German is a plus but not required

About Us
UBS is the world's largest and the only truly global wealth manager. We operate through four business divisions: Global Wealth Management, Personal & Corporate Banking, Asset Management and the Investment Bank. Our global reach and the breadth of our expertise set us apart from our competitors.

We have a presence in all major financial centers in more than 50 countries.

Join us
At UBS, we know that it's our people, with their diverse skills, experiences and backgrounds, who drive our ongoing success. We're dedicated to our craft and passionate about putting our people first, with new challenges, a supportive team, opportunities to grow and flexible working options when possible. Our inclusive culture brings out the best in our employees, wherever they are on their career journey. We also recognize that great work is never done alone. That's why collaboration is at the heart of everything we do. Because together, we're more than ourselves.

We're committed to disability inclusion and if you need reasonable accommodation/adjustments throughout our recruitment process, you can always contact us.

Disclaimer / Policy Statements
UBS is an Equal Opportunity Employer. We respect and seek to empower each individual and support the diverse cultures, perspectives, skills and experiences within our workforce.

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